Individual Firm
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THOMAS JAMES KOKJOHN
THOMAS JAMES KOKJOHN
CRD#: 4341290
IA
B
MORGAN STANLEYCRD#: 149777 16644 West Bernardo Drive
Suite 400
San Diego, CA 92127
Suite 400
San Diego, CA 92127
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11/17/1995
Criminal
Final Disposition
State Registrations
B
Alabama 11/9/2009
B
Montana 11/9/2009
B
Alaska 8/23/2024
B
Nebraska 7/27/2023
B
Arizona 11/9/2009
B
Nevada 8/22/2017
B
Arkansas 7/11/2024
B
New Hampshire 8/26/2024
B
California 11/9/2009
B
New Jersey 10/3/2016
IA
California 11/9/2009
B
New Mexico 8/22/2017
B
Colorado 5/30/2014
B
New York 8/19/2016
B
Connecticut 8/26/2024
B
North Carolina 11/3/2021
B
Delaware 8/28/2024
B
North Dakota 8/26/2024
B
District of Columbia 6/5/2023
B
Ohio 6/10/2020
B
Florida 6/8/2012
B
Oklahoma 8/26/2024
B
Georgia 10/3/2017
B
Oregon 6/27/2017
B
Hawaii 8/27/2024
B
Pennsylvania 1/11/2010
B
Idaho 7/29/2022
B
Puerto Rico 8/28/2014
B
Illinois 4/16/2019
B
Rhode Island 8/26/2024
B
Indiana 8/26/2024
B
South Carolina 8/28/2024
B
Iowa 8/26/2024
B
South Dakota 10/18/2023
B
Kansas 8/26/2024
B
Tennessee 3/19/2021
B
Kentucky 1/13/2022
B
Texas 10/27/2015
B
Louisiana 10/20/2014
IA
Texas 3/11/2020
B
Maine 11/9/2009
B
Utah 3/3/2023
B
Maryland 4/15/2019
B
Vermont 8/26/2024
B
Massachusetts 6/19/2019
B
Virginia 11/14/2023
B
Michigan 8/9/2017
B
Washington 3/31/2015
B
Minnesota 11/17/2020
B
West Virginia 8/28/2024
B
Mississippi 8/26/2024
B
Wisconsin 2/12/2021
B
Missouri 8/26/2024
B
Wyoming 8/26/2024
SRO Registrations
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IA
Registered with this firm since 11/9/2009
B
Registered with this firm since 11/9/2009
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 07/26/2002 - 11/19/2009 | SAN DIEGO, CA | |
B | 07/26/2002 - 11/19/2009 | SAN DIEGO, CA | |
IA | 07/12/2001 - 08/14/2002 | SAN DIEGO, CA | |
B | 04/19/2001 - 08/14/2002 | PURCHASE, NY |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
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